Keith Bettencourt

Keith Bettencourt (FINRA, Director Cybersecurity Group) has been with FINRA since 2017, first as a Retail Firm Grouping Exam Manager before joining the Cybersecurity Group in 2020. The Group’s mission is to leverage its cybersecurity and technology expertise to assess and enhance member firms’ cybersecurity and technology programs designed to protect sensitive information, critical systems, and core functions. Additionally, the Group supports member firms’ continuous cybersecurity improvement and resiliency by proactively monitoring and promulgating industry effective practices through outreach, education, and engagement.

Prior to FINRA, Mr. Bettencourt worked in the Compliance Department at Capital One’s broker-dealers for seven years. There he held several positions including serving as its Chief Compliance Officer in 2016, where he was responsible for the traditional bank-BD and self-directed online platforms. Mr. Bettencourt led several technology-based efforts while at Capital One, including acting as Data Steward for the firm’s compliance applications, leading the compliance and regulatory governance GRC efforts, implementing and ongoing monitoring of the firm’s compliance vendors, and serving as compliance advisor on the firm’s agile technology development teams. Prior to Capital One, Mr. Bettencourt held compliance and supervisory positions at HSBC Securities, and was a Sales Practice Review Unit examiner at NYSE Regulation. Mr. Bettencourt ‘s career in supervision and compliance began at Edward Jones in St. Louis in 2003 as a Field Supervision Director. Mr. Bettencourt graduated from Oswego State University with a Bachelor of Arts in Public Justice, and holds CISA, GCCC, CAMS, and CFE designations.